King & Shaxson Limited

• Principal Place of Business

  King & Shaxson Ltd

  155 Fenchurch Street

  London

  City Of London

  EC3M 6AL

  UNITED KINGDOM

  Phone

  +442074265950

  Web

  https://www.kingandshaxson.com

• Complaints Contact

  King & Shaxson Ltd

  155 Fenchurch Street

  London

  City Of London

  EC3M 6AL

  UNITED KINGDOM

  Phone

  +4402076554712

• P2P Lending Advice

  For Eligible Counterparty, Professional

• Investment Advice (no pensions)

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Authorised to Operate

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  • · The firm can only agree to carry on the regulated activities specified in this Notice.

• Arranges Investments

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Arranges Asset Safekeeping

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Trade Settlement Routing

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Stockbroking

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trades With You Directly

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Investment Setup

  For Eligible Counterparty, Professional, Certificates representing certain security, Commodity Future, Commodity option and option on commodity future, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Option (excluding a commodity option and an option on a commodity future), Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Share, Spread Bet, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Manages Your Portfolio

  For Eligible Counterparty, Professional, Certificates representing certain security, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security), Warrant

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  • · Investment activity in "rights to or interests in investments (security)" and "rights to or interests in investments (contractually based investment)" is limited to the investment types granted for this activity.

• Trading Platform

  For Eligible Counterparty, Contract for Differences (excluding a spread bet and, a rolling spot forex contract and a binary bet), Debenture, Future (excluding a commodity future and a rolling spot forex contract), Government and public security, Rights to or interests in investments (Contractually Based Investments), Rights to or interests in investments (Security)

• Holds Your Assets

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Electronic Trade Settlement

  For Eligible Counterparty, Professional, Certificates representing certain security, Debenture, Government and public security, Rights to or interests in investments (Security), Share, Warrant

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  • · Investment activity in "rights to or interests in investments (security)" is limited to the investment types granted for this activity.

• Daniel John Jones

  IRN DJJ01091

  • [FCA CF] Client dealing (since 9 Dec 2019)
  • CF30 Customer (17 Sep 2012 to 8 Dec 2019)
• Daniel Sullivan

  IRN DSS01103

  • CF30 Customer (20 Apr 2012 to 8 Dec 2019)
• David Brian Webb

  IRN DBW01021

  • CF30 Customer (21 Feb 2017 to 8 Dec 2019)
• David Dunstan Skinner

  IRN DDS01018

  • CF30 Customer (1 Nov 2007 to 24 Apr 2011)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
• David Geoffrey Price

  IRN DGP01079

  • [FCA CF] Client dealing (9 Dec 2019 to 31 Mar 2021)
  • [FCA CF] Manager of certification employee (9 Dec 2019 to 31 Mar 2021)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (22 Mar 2006 to 31 Oct 2007)
• David Ian Robert Wileman

  IRN DIW01013

  • SMF10 Chair of the Risk Committee (since 9 Dec 2019)
  • SMF9 Chair of the Governing Body (since 9 Dec 2019)
  • SMF12 Chair of the Remuneration Committee (9 Dec 2019 to 5 Sep 2024)
  • CF2 Non Executive Director (2 Jul 2018 to 8 Dec 2019)
  • CF30 Customer (1 Nov 2007 to 2 Jul 2018)
  • CF27 Investment Management (8 Jan 2003 to 4 May 2004)
  • CF3 Chief Executive (1 Dec 2001 to 2 Jul 2018)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)
  • CF1 Director (1 Dec 2001 to 2 Jul 2018)
  • CF8 Apportionment and Oversight (1 Dec 2001 to 31 Oct 2007)
• David John Mears

  IRN DJM01293

  • CF30 Customer (17 Feb 2017 to 17 Jun 2019)
• David Stephen Lewis

  IRN DSL01018

  • [FCA CF] Client dealing (since 3 Mar 2026)
  • CF30 Customer (5 Aug 2019 to 8 Dec 2019)
• Dean Carter

  IRN DXC02078

  • CF30 Customer (11 Jan 2012 to 8 Dec 2019)
• Denzil Thomas Morgan

  IRN DTM01025

  • [FCA CF] Client dealing (25 Nov 2020 to 29 Apr 2022)
  • CF30 Customer (1 Nov 2007 to 8 Dec 2019)
  • CF21 Investment Adviser (1 Dec 2001 to 31 Oct 2007)

No changes recorded yet.